0001766526-19-000020.txt : 20190515 0001766526-19-000020.hdr.sgml : 20190515 20190515200617 ACCESSION NUMBER: 0001766526-19-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190513 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHERMAN A HAAG CENTRAL INDEX KEY: 0001283832 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38910 FILM NUMBER: 19830342 MAIL ADDRESS: STREET 1: 600 TRAVIS STREET, SUITE 5900 CITY: HOUSTON STATE: TX ZIP: 77002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tectonic Financial, Inc. CENTRAL INDEX KEY: 0001766526 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 820764846 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 16200 DALLAS PARKWAY, SUITE 190 CITY: DALLAS STATE: TX ZIP: 75248 BUSINESS PHONE: 972-720-9000 MAIL ADDRESS: STREET 1: 16200 DALLAS PARKWAY, SUITE 190 CITY: DALLAS STATE: TX ZIP: 75248 FORMER COMPANY: FORMER CONFORMED NAME: T Acquisition, Inc. DATE OF NAME CHANGE: 20190131 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-05-13 0 0001766526 Tectonic Financial, Inc. TECTP 0001283832 SHERMAN A HAAG C/O TECTONIC FINANCIAL, INC. 16200 DALLAS PARKWAY, SUITE 190 DALLAS TX 75248 1 1 1 0 Chief Executive Officer Common Stock 2019-05-13 4 A 0 875500 A 1751000 I See footnote Common Stock 2019-05-13 4 A 0 190250 A 380500 I See footnote Common Stock 2019-05-13 4 A 0 9750 A 19500 I By individual retirement account Series B Preferred Stock 2019-05-14 4 P 0 5000 10 A 5000 D Received in exchange for 1,751,000 common units of Tectonic Holdings, LLC ("Tectonic Holdings") in connection with the merger of Tectonic Holdings with and into the Issuer, with the Issuer continuing as the surviving company (the "Merger"). At the effective time of the Merger, each common unit of Tectonic Holdings was converted into the right to receive one share of the Issuer's common stock. Immediately following, and in connection with, the Merger, the Issuer effected a 1-for-2 reverse stock split of the outstanding shares of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split. These shares are held by The Sherman 2018 Irrevocable Trust for which the Reporting Person serves as trustee. Received in exchange for 380,500 common units of Tectonic Holdings in connection with the Merger. These shares are held by Sherman Tectonic FLP LP for which the Reporting Person serves as the Chief Executive Officer of the general partner. Received in exchange for 19,500 common units of Tectonic Holdings in connection with the Merger. Represents shares purchased through a directed share program in connection with the initial public offering of the Issuer's 9.00% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock (the "Series B preferred stock"), which closed on May 14, 2019. These shares of Series B preferred stock were purchased at the public offering price of $10.00 per share. By Ken Bramlage as Attorney-in-Fact for A. Haag Sherman 2019-05-15